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FCA final guidance on code of practice

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The FCA has updated Finalised Guidance (FG13/3) on its Code of Practice for the
relationship between external auditor and the supervisor.

The Final Guidance sets out five principles that seek to regulate the
relationship between external auditors and supervisors, covering:

  • the auditor’s duty to report;
  • sharing of information between the parties in a timely
    fashion;
  • maintaining an open, cooperative and constructive relationship;
  • engagement in regular dialogue; and
  • treating information shared between the parties or received form regulated firms confidentially.

 Related Link:

http://www.fca.org.uk/static/documents/finalised-guidance/fg13-03.pdf

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